The duty to manage, in plain English

The legal duty to manage asbestos in non-domestic premises is set out in regulation 4 of the Control of Asbestos Regulations 2012 (CAR 2012). It does five things in sequence, and they really do have to be done in that order:

  1. Identify the location and condition of any materials that contain, or are presumed to contain, asbestos.
  2. Assess the risk those materials pose, taking the condition, type and likelihood of disturbance into account.
  3. Prepare a written management plan that records that information and sets out what is being done about it.
  4. Implement the plan: monitor the condition of the material, manage the risk, and keep the information available.
  5. Keep the plan under review and update it when anything changes.

Regulation 4 does not apply to the inside of single domestic dwellings. It does apply to the common parts of multi-occupied residential premises. That distinction trips up landlords every year.

Who is the duty-holder

The duty-holder is whoever has, by virtue of a contract or tenancy, an obligation in relation to the maintenance or repair of the non-domestic premises. Where there is no such contract or tenancy, the duty falls on whoever has, to any extent, control of the premises. In practice this is almost always going to be one or more of:

  • The freeholder of an owner-occupied premises.
  • The landlord under a full repairing and insuring lease.
  • The tenant where the lease puts the maintenance obligation on them.
  • The managing agent where they have been given control.

It is regularly the case that more than one party has the duty at the same time, in which case CAR 2012 requires them to cooperate. The first paragraph of any management plan should name the duty-holder and reference the lease or contract that puts the duty on them. If the assessment cannot answer that question, it is not yet a defensible plan.

Why the survey comes before the plan

The management plan is the document. The survey is the evidence under it. HSE guidance HSG264: Asbestos: The survey guide sets out two main survey types:

Management survey

Sometimes still called a Type 2 survey. Locates asbestos-containing materials that could be disturbed during normal occupation and routine maintenance, and assesses their condition. Minimally intrusive. Walls, floor coverings and ceilings are sampled where reasonable but the building stays in use. This is the survey that sits behind the standing management plan.

Refurbishment and demolition survey

Sometimes still called a Type 3 survey. Fully intrusive. Required before any refurbishment or demolition work in any part of the premises that will be disturbed. The premises (or the affected part of them) should be vacated, isolated and made safe for the surveyor. A refurbishment and demolition survey is project-specific. It is not a substitute for the standing management survey, and it does not replace the plan.

What the management plan must contain

CAR 2012 doesn't prescribe a layout. These are the markers reviewers look for in a plan that is unlikely to be challenged on competence:

  • Identification of the duty-holder, with a reference to the contract or tenancy that places the duty on them.
  • A description of the premises, with the address, the construction date, the use, and the parts the plan covers (and any that it does not).
  • A summary of the survey, by date and surveyor, with the survey type. A copy of the survey attached or referenced.
  • The asbestos register: a list of every identified or presumed asbestos-containing material, its location, type, condition score, surface treatment and accessibility.
  • The risk assessment: the algorithm or scoring system used (most assessors use the HSG264 material assessment and a separate priority assessment), and the resulting priority score for each item.
  • The measures to be taken: leave in situ and manage, encapsulate, label, remove. For each, who is doing it and when.
  • Re-inspection frequency for each item.
  • Procedures for work on or near the asbestos: contractor sign-in, permit to work, the requirement to check the register before any drilling, fixing, cutting or demolition.
  • Procedures for accidental disturbance: who is called, what is done to isolate the area, when air monitoring is required.
  • The review process: who reviews the plan, how often, and what triggers an immediate review.

A short plan that does all of the above is more defensible than a 60-page plan that buries the action list in narrative.

The asbestos register vs the plan

These are two different things and people merge them at their peril. The register is a list of materials. The plan is a document that explains what is being done about them. The register sits inside the plan but it is not the plan on its own. A common enforcement finding is "asbestos register present, no management plan", and that is treated as a failure of regulation 4.

Re-inspection and review

CAR 2012 does not set a statutory interval. The accepted practice is:

  • Annual review of the plan as a default, sooner if anything material changes.
  • Annual re-inspection of items in good condition that are not regularly disturbed.
  • Six-monthly re-inspection for items in poor or accessible locations, or where the priority assessment is high.
  • Immediate re-inspection after any incident that might have damaged the material, after any building work in the vicinity, and after any change of use.

The re-inspection records sit alongside the plan and form the running evidence that the duty has been discharged. A plan with no re-inspection record after the first survey is, in regulator terms, an out-of-date plan.

Sharing the information with anyone who could disturb it

Regulation 4(8) of CAR 2012 requires the duty-holder to provide the information in the plan to every person liable to disturb the asbestos and to the emergency services. In practice this is the test that catches most duty-holders out:

  • The contractor that came in to install cabling and was never shown the register.
  • The cleaner that was never told there was textured coating on the ceiling.
  • The fire and rescue service that was never given the building plan.

The strongest way to discharge this part of the duty is to make access to the plan a step in the contractor sign-in process. No sign-in, no register access, no work.

Frequently asked

Who has the duty to manage asbestos?

Under regulation 4 of CAR 2012, the duty sits with whoever has, by virtue of a contract or tenancy, an obligation in relation to the maintenance or repair of non-domestic premises. Where there is no such contract, it falls on whoever has, to any extent, control of the premises. In an owner-occupied premises that is usually the freeholder. In a let premises it depends on the terms of the lease, and frequently the duty sits with the landlord and the tenant at the same time.

What is the difference between a management survey and a refurbishment and demolition survey?

A management survey locates asbestos-containing materials that could be disturbed during normal occupation and routine maintenance and assesses their condition. It is minimally intrusive. A refurbishment and demolition survey is fully intrusive and is required before any refurbishment or demolition work that will disturb the building. The management survey sits behind the standing management plan. The refurbishment and demolition survey is project-specific.

Is an asbestos management plan a legal requirement?

Yes. Regulation 4 of CAR 2012 requires the duty-holder to prepare a written plan that identifies the parts of the premises affected and sets out the measures to be taken. The plan must be kept up to date, kept under review, and the information made available to anyone liable to disturb the asbestos. Without a plan, the duty has not been discharged.

Do domestic properties need an asbestos management plan?

Regulation 4 does not apply to the inside of single domestic dwellings. It does apply to the common parts of multi-occupied residential premises: staircases, lift shafts, plant rooms, lobbies and external corridors. The Health and Safety at Work Act 1974 still applies to any work carried out in domestic premises by contractors, who must be given the information they need to avoid disturbing asbestos.

How often should an asbestos management plan be reviewed?

There is no statutory interval. The plan must be kept up to date, reviewed regularly, and reviewed immediately when there is any change to the premises, occupation, or work activity. In practice most duty-holders set a 12-month review cycle for the plan and a 6 or 12-month re-inspection cycle for known asbestos-containing materials, with the interval set by condition and accessibility.